Sigma Planning Corp

SEC CIK: 0001449126
Latest filing: Aug 7, 2026

SEC filings (opens in a new tab)

Holdings in Q4 2024

Holdings as of Dec 31, 2024, filed Feb 3, 2025. Long positions only; changes compare share counts with Q3 2024.

Positions: 1,158; −47 vs. Q3 2024
Portfolio value: $3.18B; −$79.7M (−2.4%) vs. Q3 2024
Filed: Feb 3, 2025; SEC

Holdings of Sigma Planning Corp in Q4 2024
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
PWRQuanta Services, Inc.	COM	882	$278.7K	<0.1%	−145−14.1%	Reduced	History
JBHTHunt J B Transport Services Inc	COM	1,634	$278.9K	<0.1%	−119−6.8%	Reduced	History
FITBFifth Third Bancorp	COM	6,604	$279.2K	<0.1%	−2,628−28.5%	Reduced	History
AGOAssured Guaranty Ltd	COM	3,108	$279.8K	<0.1%	00.0%	Unchanged	History
NETCloudflare, Inc.	CL A COM	2,612	$281.3K	<0.1%	−3,813−59.3%	Reduced	History
Fidelity Covington Trust31609A503	ENH MID COR ETF	8,571	$281.5K	<0.1%	−1,228−12.5%	Reduced	–
iShares Tr464288703	MRNING SM CP ETF	4,452	$282.3K	<0.1%	00.0%	Unchanged	–
ETJEaton Vance Risk-Managed Diversified Equity Income Fund	COM	30,372	$282.8K	<0.1%	+282+0.9%	Added	History
PBRPetrobras - Petroleo Brasileiro SA	SPONSORED ADR	22,116	$284.4K	<0.1%	−7,320−24.9%	Reduced	History
SBSWSibanye Stillwater Ltd	SPONSORED ADR	86,249	$284.6K	<0.1%	−7,267−7.8%	Reduced	History
Neos ETF Trust Nasdaq 100 HDGD78433H667	ETF	10,927	$284.8K	<0.1%	+10,927	New	–
EWEdwards Lifesciences Corp	Stock	3,864	$286.1K	<0.1%	−268−6.5%	Reduced	History
UVVUniversal Corp	COM	5,219	$286.2K	<0.1%	+646+14.1%	Added	History
IIPRInnovative Industrial Properties Inc	COM	4,324	$288.1K	<0.1%	−3,153−42.2%	Reduced	History
RGNXREGENXBIO Inc.	COM	37,310	$288.4K	<0.1%	−900−2.4%	Reduced	History
Global X Lithium & Battery Tech ETF37954Y855	ETF	7,081	$288.7K	<0.1%	−497−6.6%	Reduced	–
CAGConagra Brands Inc.	Stock	10,442	$289.8K	<0.1%	−992−8.7%	Reduced	History
First Tr Exchng Traded FD VI33740F797	ACTV FCTR SMCP	9,646	$290.1K	<0.1%	+601+6.6%	Added	–
WLKWestlake Corp	COM	2,531	$290.2K	<0.1%	00.0%	Unchanged	History
SPDR Series Trust78464A706	ST STR GLB DOW	2,216	$292.6K	<0.1%	+2,216	New	–
iShares Tr464288752	US HOME CONS ETF	2,834	$293.0K	<0.1%	−6,641−70.1%	Reduced	–
iShares Tr46435G243	ESG AWRE 1 5 YR	11,863	$293.0K	<0.1%	+204+1.7%	Added	–
RCKTRocket Pharmaceuticals, Inc.	COM	23,375	$293.8K	<0.1%	−1,500−6.0%	Reduced	History
DECKDeckers Outdoor Corp	COM	1,447	$293.9K	<0.1%	+1,447	New	History
Innovator ETFs Trust45782C383	US EQTY PWR BUF	7,319	$294.2K	<0.1%	−50−0.7%	Reduced	–
MNSTMonster Beverage Corp	COM	5,618	$295.3K	<0.1%	−440−7.3%	Reduced	History
IDXXIDEXX Laboratories Inc	COM	715	$295.6K	<0.1%	−1,177−62.2%	Reduced	History
BROSDutch Bros Inc.	CL A	5,661	$296.5K	<0.1%	+5,661	New	History
Innovator ETFs Trust45782C334	GRWT100 PWR BF	5,907	$297.7K	<0.1%	−1,795−23.3%	Reduced	–
PSECProspect Capital Corp	COM	69,188	$298.2K	<0.1%	−1,344−1.9%	Reduced	History
DDOGDatadog, Inc.	CL A COM	2,092	$298.9K	<0.1%	−3,553−62.9%	Reduced	History
Fidelity Covington Trust316092857	MSCI RL EST ETF	11,069	$299.1K	<0.1%	−29,171−72.5%	Reduced	–
SNPSSynopsys Inc	COM	617	$299.5K	<0.1%	−32−4.9%	Reduced	History
ARAntero Resources Corp	COM	8,602	$301.5K	<0.1%	+28+0.3%	Added	History
PIMCO ETF Tr72201R627	SR LN ACTIVE ETF	5,901	$301.5K	<0.1%	+5,901	New	–
TTETotalEnergies SE	SPONSORED ADS	5,536	$301.7K	<0.1%	−974−15.0%	Reduced	History
SPDR Index Shs FDS78463X509	ST PORT MARK ETF	7,873	$302.1K	<0.1%	−2,463−23.8%	Reduced	–
ALBAlbemarle Corp	Stock	3,536	$304.4K	<0.1%	−549−13.4%	Reduced	History
Invesco Exchange Traded FD T46137V886	DWA STAPLES	2,904	$304.8K	<0.1%	−34−1.2%	Reduced	–
iShares Tr464288208	MRGSTR MD CP ETF	4,005	$305.0K	<0.1%	−162−3.9%	Reduced	–
Invesco Exchange Traded FD T46137V746	LARG CAP GRO ETF	3,004	$305.6K	<0.1%	−464−13.4%	Reduced	–
Vanguard Wellington FD921935508	US MOMENTUM	1,860	$305.7K	<0.1%	+1,860	New	–
BHVNBiohaven Ltd.	COM	8,201	$306.3K	<0.1%	−30.0%	Reduced	History
APAAPA Corp	Stock	13,267	$306.3K	<0.1%	+33+0.2%	Added	History
SNOWSnowflake Inc.	Stock	1,992	$307.6K	<0.1%	−1,495−42.9%	Reduced	History
AMCRAmcor plc	ORD	32,944	$310.0K	<0.1%	−4,089−11.0%	Reduced	History
IBKRInteractive Brokers Group, Inc.	Stock	1,755	$310.1K	<0.1%	+142+8.8%	Added	History
Bondbloxx ETF Trust09789C853	BLOOMBERG TWO YR	6,342	$311.3K	<0.1%	−2,341−27.0%	Reduced	–
SJMJ M SMUCKER Co	Stock	2,833	$311.9K	<0.1%	−1,282−31.2%	Reduced	History
BTIBritish American Tobacco p.l.c.	SPONSORED ADR	8,593	$312.1K	<0.1%	−69−0.8%	Reduced	History
UNMUnum Group	Stock	4,293	$313.5K	<0.1%	−94−2.1%	Reduced	History
Vanguard S&P 500 Value ETF921932703	ETF	1,701	$313.9K	<0.1%	+620+57.4%	Added	–
WisdomTree Tr97717W547	US VALUE FD	3,769	$315.0K	<0.1%	−234−5.8%	Reduced	–
ONBOld National Bancorp	Stock	14,522	$315.2K	<0.1%	+14,522	New	History
iShares Tr464287234	MSCI EMG MKT ETF	7,541	$315.4K	<0.1%	+6+0.1%	Added	–
iShares Tr46435G672	CORE INTL AGGR	6,392	$319.1K	<0.1%	+6,392	New	–
WYWeyerhaeuser Co	COM NEW	11,345	$319.3K	<0.1%	−49−0.4%	Reduced	History
iShares U S ETF Tr46431W705	INT RT HDG C B	3,463	$321.1K	<0.1%	−200−5.5%	Reduced	–
STLDSteel Dynamics Inc	COM	2,822	$322.0K	<0.1%	+459+19.4%	Added	History
First Tr Exchange-Traded Alp33734K109	COM SHS	3,152	$328.7K	<0.1%	−146−4.4%	Reduced	–
GGNGAMCO Global Gold, Natural Resources & Income Trust	COM SH BEN INT	87,368	$329.4K	<0.1%	+1,040+1.2%	Added	History
Global X FDS37954Y715	RBTCS ARTFL INTE	10,437	$333.5K	<0.1%	−376−3.5%	Reduced	–
HPQHP Inc	Stock	10,221	$333.5K	<0.1%	−72−0.7%	Reduced	History
FTITechnipFMC plc	COM	11,527	$333.6K	<0.1%	+363+3.3%	Added	History
OXLCOxford Lane Capital Corp.	COM	65,858	$333.9K	<0.1%	−3,449−5.0%	Reduced	History
SBLKStar Bulk Carriers Corp.	SHS PAR	22,482	$336.1K	<0.1%	+1,060+4.9%	Added	History
HIIHuntington Ingalls Industries, Inc.	COM	1,779	$336.1K	<0.1%	+517+41.0%	Added	History
Listed FDS Tr53656F623	HORI KI INFL ETF	8,881	$338.2K	<0.1%	+3,262+58.1%	Added	–
SPDR Series Trust78464A821	ST STR SP400GRW	3,899	$338.8K	<0.1%	+19+0.5%	Added	–
HLTHilton Worldwide Holdings Inc.	COM	1,374	$339.7K	<0.1%	+150+12.3%	Added	History
Global X FDS37954Y632	ARTIFICIAL ETF	8,812	$340.5K	<0.1%	+8,812	New	–
APLEApple Hospitality REIT, Inc.	REIT	22,192	$340.7K	<0.1%	−741−3.2%	Reduced	History
Capital Grp Fixed Incm ETF T14020Y201	MUN INM ETF	12,676	$341.2K	<0.1%	+658+5.5%	Added	–
RUMRUM Group Inc.	Stock	26,332	$342.6K	<0.1%	+3,985+17.8%	Added	History
IRMIron Mountain Inc	COM	3,272	$343.9K	<0.1%	−1,329−28.9%	Reduced	History
Invesco Exchange Traded FD T46137V597	RAFI US 1500	8,280	$344.5K	<0.1%	+31+0.4%	Added	–
Innovator ETFs Trust45782C573	US EQTY PWR BUF	9,130	$345.8K	<0.1%	−370−3.9%	Reduced	–
iShares Tr46436E569	ESG SELECT SCRE	7,647	$346.4K	<0.1%	+33+0.4%	Added	–
CCSCentury Communities, Inc.	COM	4,725	$346.6K	<0.1%	+100+2.2%	Added	History
Invesco Exchange Traded FD T46137V639	AI AND NEXT GEN	7,707	$348.6K	<0.1%	−637−7.6%	Reduced	–
Amplify ETF Tr032108649	AMPLIFY JUNIOR S	35,113	$348.7K	<0.1%	−730−2.0%	Reduced	–
LWLamb Weston Holdings, Inc.	Stock	5,221	$348.9K	<0.1%	00.0%	Unchanged	History
SPDR Series Trust78468R796	ST STR SP500FF	7,249	$349.1K	<0.1%	−93−1.3%	Reduced	–
WisdomTree Tr97717W505	US MIDCAP DIVID	6,871	$350.2K	<0.1%	−287−4.0%	Reduced	–
PNCPNC Financial Services Group, Inc.	Stock	1,825	$352.0K	<0.1%	−2,462−57.4%	Reduced	History
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788	ETF	8,152	$352.5K	<0.1%	+8+0.1%	Added	–
iShares Tr464288661	3 7 YR TREAS BD	3,068	$354.5K	<0.1%	−203−6.2%	Reduced	–
LDOSLeidos Holdings, Inc.	COM	2,471	$355.9K	<0.1%	+462+23.0%	Added	History
First Tr Exchng Traded FD VI33740F649	FT VEST NAS	12,929	$356.1K	<0.1%	+2,015+18.5%	Added	–
iShares Tr46432F388	MSCI USA VALUE	3,376	$356.6K	<0.1%	+16+0.5%	Added	–
WSMWilliams Sonoma Inc	COM	1,926	$356.6K	<0.1%	−10−0.5%	Reduced	History
QSRRestaurant Brands International Inc.	COM	5,485	$357.5K	<0.1%	−1,648−23.1%	Reduced	History
ULTAUlta Beauty, Inc.	Stock	826	$359.4K	<0.1%	−333−28.7%	Reduced	History
USBUS Bancorp DE	COM NEW	7,530	$360.1K	<0.1%	−825−9.9%	Reduced	History
iShares Tr464288281	JPMORGAN USD EMG	4,046	$360.2K	<0.1%	−838−17.2%	Reduced	–
PIMCO ETF Tr72201R783	0-5 HIGH YIELD	3,855	$361.1K	<0.1%	−90−2.3%	Reduced	–
Victory Portfolios II92647X830	SHS FR CA FL ETF	10,620	$362.0K	<0.1%	+3,539+50.0%	Added	–
American Centy ETF Tr025072885	US EQT ETF	3,768	$365.2K	<0.1%	+3,768	New	–
iShares Tr464288794	US BR DEL SE ETF	2,537	$365.6K	<0.1%	+3+0.1%	Added	–
LNTAlliant Energy Corp	Stock	6,188	$366.0K	<0.1%	+12+0.2%	Added	History

Options (4)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Sigma Planning Corp in Q4 2024
Security	Class	Puts	Calls
OLEDUniversal Display Corp	COM	$97.3K	–
INTCIntel Corp	Stock	–	$52.2K
XRXXerox Holdings Corp	COM NEW	$4.57K	–
UBSUBS Group AG	Stock	–	$250

Sold out since Q3 2024 (113)

Positions held at the end of Q3 2024 that are gone from this filing.

The largest 100 of 113 by value last quarter.

Positions of Sigma Planning Corp sold out since Q3 2024
Security	Class	Shares in Q3 2024	Value in Q3 2024	% of portfolio in Q3 2024	History
SPDR Index Shs FDS78463X202	ST STR EU 50 ETF	71,422	$3.80M	0.1%	–
CASYCaseys General Stores Inc	COM	6,146	$2.31M	0.1%	History
First Tr Exchng Traded FD VI33740U208	FT VEST US EQT	45,014	$2.17M	0.1%	–
VRSNVerisign Inc	COM	11,125	$2.11M	0.1%	History
iShares Tr46434VBG4	IBONDS DEC24 ETF	69,545	$1.75M	0.1%	–
CGCarlyle Group Inc.	COM	33,136	$1.43M	<0.1%	History
First Tr Exchng Traded FD VI33740F516	FT VEST US EQT	35,574	$1.35M	<0.1%	–
Innovator ETFs Trust45782C730	US EQT ULTRA BF	37,321	$1.24M	<0.1%	–
VKTXViking Therapeutics, Inc.	COM	15,119	$957.2K	<0.1%	History
Invesco Exch TRD SLF Idx FD46138J841	BULSHS 2024 CB	42,326	$893.9K	<0.1%	–
EQIXEquinix Inc	COM	968	$859.0K	<0.1%	History
iShares Tr46436E874	IBONDS 24 TRM TS	28,173	$676.2K	<0.1%	–
Invesco Actively Managed Exc46090A879	VAR RATE INVT	23,863	$598.6K	<0.1%	–
iShares Tr46435U184	IBONDS 24 TRM HG	23,449	$546.1K	<0.1%	–
SPDR Series Trust78468R606	ST PORT HIGH ETF	21,559	$518.5K	<0.1%	–
Capital Group Dividend Growe14021L109	SHS ETF	16,581	$509.4K	<0.1%	–
BF.BBrown Forman Corp	Stock	9,768	$480.6K	<0.1%	History
HUNHuntsman CORP	COM	18,964	$458.9K	<0.1%	History
RVTRoyce Small-Cap Trust, Inc.	COM	28,972	$454.9K	<0.1%	History
VMIValmont Industries Inc	COM	1,539	$446.2K	<0.1%	History
iShares Tr464288273	EAFE SML CP ETF	6,538	$442.6K	<0.1%	–
Simplify Exchange Traded Fun82889N632	ENHANCED INM ETF	18,476	$433.2K	<0.1%	–
ZTRVirtus Total Return Fund Inc.	COM	68,650	$425.6K	<0.1%	History
iShares Tr46434V290	US SML CAP EQT	6,200	$411.4K	<0.1%	–
MROMarathon Oil Corp	COM	15,299	$407.4K	<0.1%	History
BMAMacro Bank Inc.	SPON ADR B	6,275	$398.4K	<0.1%	History
Invesco Exchange Traded FD T46137V332	S&P500 EQL HLT	12,291	$396.1K	<0.1%	–
Aim ETF Products Trust00888H646	ALLIANZIM U S LA	14,799	$388.9K	<0.1%	–
Innovator ETFs Trust45782C367	INTRNL DEV APRL	13,292	$377.7K	<0.1%	–
LEVILevi Strauss & Co	CL A COM STK	17,241	$375.9K	<0.1%	History
First Tr Exchng Traded FD VI33740F763	FT VEST US EQT	7,693	$373.6K	<0.1%	–
Innovator ETFs Trust45784N304	US SMALL CAP POW	14,375	$366.7K	<0.1%	–
WFRDWeatherford International plc	ORD SHS	4,317	$366.6K	<0.1%	History
DGDollar General Corp	COM	4,299	$363.6K	<0.1%	History
Dimensional ETF Trust25434V823	US REAL ESTA ETF	14,117	$362.0K	<0.1%	–
CARAvis Budget Group, Inc.	COM	4,025	$352.6K	<0.1%	History
BKHBlack Hills Corp	COM	5,571	$340.5K	<0.1%	History
ILMNIllumina, Inc.	COM	2,559	$333.7K	<0.1%	History
iShares Tr464289420	RUS TP200 VL ETF	3,856	$313.4K	<0.1%	–
iShares Tr46435G524	INTL DIV GRWTH	4,201	$313.3K	<0.1%	–
ADMAAdma Biologics, Inc.	COM	15,000	$299.9K	<0.1%	History
ETF Ser Solutions26922A172	NATIONWIDE RSK	11,182	$285.6K	<0.1%	–
Innovator ETFs Trust45782C748	US EQTY PWR BUF	7,709	$284.3K	<0.1%	–
DINOHF Sinclair Corp	COM	6,309	$281.2K	<0.1%	History
iShares 1-10 Year U.S. Aggregate Bond ETF464288596	ETF	2,632	$281.2K	<0.1%	–
CFLTConfluent, Inc.	CLASS A COM	13,639	$278.0K	<0.1%	History
BLDRBuilders FirstSource, Inc.	Stock	1,432	$277.6K	<0.1%	History
Nushares ETF Tr67092P201	NUVEEN ESG LRGCP	3,355	$277.2K	<0.1%	–
ASPNAspen Aerogels Inc	COM	9,880	$273.6K	<0.1%	History
NEMNEWMONT Corp	Stock	5,083	$271.7K	<0.1%	History
iShares Core MSCI Europe ETF46434V738	ETF	4,387	$267.3K	<0.1%	–
SPDR Series Trust78468R861	STATE STRET SPDR	13,943	$264.2K	<0.1%	–
STRSitio Royalties Corp.	CLASS A COM	12,564	$261.8K	<0.1%	History
PINSPinterest, Inc.	CL A	8,047	$260.5K	<0.1%	History
PHMPultegroup Inc	COM	1,802	$258.6K	<0.1%	History
UHSUniversal Health Services Inc	CL B	1,119	$256.4K	<0.1%	History
Fidelity MSCI Materials Index ETF316092881	ETF	4,728	$256.3K	<0.1%	–
Invesco Exch Traded FD Tr II46138E784	EMRNG MKT SVRG	11,750	$252.6K	<0.1%	–
Vanguard Mun BD FDS922907738	INTERMEDIATE TRM	2,475	$250.4K	<0.1%	–
MURMurphy Oil Corp	COM	7,395	$249.5K	<0.1%	History
ICLRIcon PLC	COM	852	$244.8K	<0.1%	History
MGMMGM Resorts International	Stock	6,186	$241.8K	<0.1%	History
NGGNational Grid PLC	SPONSORED ADR NE	3,467	$241.5K	<0.1%	History
SOLVSolventum Corp	Stock	3,450	$240.6K	<0.1%	History
First Tr Exchange-Traded FD33734X168	MATERIALS ALPH	3,571	$239.4K	<0.1%	–
PSAPublic Storage	COM	654	$238.0K	<0.1%	History
Cambria ETF Tr132061300	CAMBRIA FGN SHR	8,524	$237.4K	<0.1%	–
BHPBHP Group Ltd	ADR	3,767	$234.7K	<0.1%	History
WBSWebster Financial Corp	COM	5,029	$234.4K	<0.1%	History
WDAYWorkday, Inc.	CL A	954	$233.2K	<0.1%	History
iShares Tr464288612	INTRM GOV CR ETF	2,173	$232.7K	<0.1%	–
LUVSouthwest Airlines Co	COM	7,843	$232.4K	<0.1%	History
LKQLKQ Corp	COM	5,813	$232.1K	<0.1%	History
NBIXNeurocrine Biosciences Inc	Stock	2,000	$230.4K	<0.1%	History
Etfis Ser Tr I26923G772	INFRAC ACT MLP	5,517	$223.9K	<0.1%	–
PPLPPL Corp	COM	6,730	$222.6K	<0.1%	History
OMCOmnicom Group Inc.	COM	2,153	$222.6K	<0.1%	History
SCCOSouthern Copper Corp	Stock	1,914	$221.3K	<0.1%	History
First Tr Exchng Traded FD VI33740F847	FT VEST US EQT	4,660	$219.8K	<0.1%	–
EBAYeBay Inc	COM	3,328	$216.7K	<0.1%	History
iShares MSCI Eafe Min Vol Factor ETF46429B689	ETF	2,811	$215.6K	<0.1%	–
HIGHartford Insurance Group, Inc.	Stock	1,825	$214.6K	<0.1%	History
JDJD.com, Inc.	SPON ADS CL A	5,363	$214.5K	<0.1%	History
SYBTStock Yards Bancorp, Inc.	COM	3,455	$214.2K	<0.1%	History
NMAINuveen Multi-Asset Income Fund	COM	16,167	$213.7K	<0.1%	History
OTISOtis Worldwide Corp	Stock	2,048	$212.9K	<0.1%	History
GPKGraphic Packaging Holding Co	COM	7,145	$211.4K	<0.1%	History
CNCCentene Corp	Stock	2,803	$211.0K	<0.1%	History
MCHPMicrochip Technology Inc	Stock	2,621	$210.5K	<0.1%	History
ENPHEnphase Energy, Inc.	Stock	1,859	$210.1K	<0.1%	History
RRyder System Inc	COM	1,429	$208.4K	<0.1%	History
AEMAgnico Eagle Mines Ltd	Stock	2,580	$207.9K	<0.1%	History
Vanguard Admiral FDS Inc921932885	MIDCP 400 IDX	1,963	$207.4K	<0.1%	–
GNRCGenerac Holdings Inc.	Stock	1,302	$206.8K	<0.1%	History
KEYKeycorp	COM	12,285	$205.8K	<0.1%	History
First Tr Exchng Traded FD VI33740F862	FT VEST US EQT	4,474	$204.7K	<0.1%	–
First Tr Exchng Traded FD VI33740F276	FT ENER INCO ETF	10,546	$204.1K	<0.1%	–
Invesco Exch Traded FD Tr II46138E537	NATL AMT MUNI	8,426	$203.5K	<0.1%	–
Abrdn ETFs003261104	BBRG ALL COMD K1	9,935	$203.1K	<0.1%	–
iShares Esg Aware US Aggregate Bond ETF46435U549	ETF	4,174	$202.8K	<0.1%	–